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579 Main Street, Bolton, MA 01740 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2021-02-12 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Citigroup Global Markets Inc | New York | NY | 05/2008 | 04/2019 |
| Morgan Stanley Smith Barney | New York | NY | 01/2015 | 04/2019 |
| Morgan Stanley Private Bank, National Association | New York | NY | 01/2015 | 04/2019 |
| Bolton Global Capital | Bolton | MA | 04/2019 | Present |
| Bolton Global Asset Management | Bolton | MA | 11/2019 | Present |
1) Owns residential rental properties in Florida and New York. Not directly investment related. Sole Proprietor / Owner / Partner; 08/2015; During business hours: 0, After business hours: 0. 2) Investment Advisor Representative providing investment advisory services through Bolton Global Asset Management. Acting as Managing Director, DBA NYB Wealth Adviory. Investment related. Began role 07/01/2019. Conducted from Branch location. Role represents full-time job along with brokerage services. 3) Co-owner and Managing Director of NYB Wealth Advisory, LLC, entity created for operating securities and investment advisory services. Conducted from Branch location. Entity filed and established May, 2019. Not directly investment related, but facilitates investment related businesses. Hours spent per month on management duties vary, but are tied in with investment related businesses.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-05 |
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